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ASIC imposes restrictions on former financial adviser

This for non-compliance in self-managed superannuation advice ....

Mina Martin , Shivdeep Jaidka , Investments Commission , Australian Securities , Corporations Act , Court Enforceable Undertaking , Elf Managed Superannuation Advice ,

iTWire - Australia Post to pay about $2.9 million in compensation to businesses for lost or damaged parcels

Australia Post is paying about $2.9 milliion in compensation to businesses for lost or damaged parcels after the competition watchdog the ACCC took le. ....

Liza Carver , Consumer Commission , Australia Post Group , Australian Postal Corporation , Australian Competition , Australia Post , Australian Consumer Law , Post Group , Star Track Express Pty Limited , Australian Competition And Consumer Commission Accc , Lost Or Damaged Parcels , Court Enforceable Undertaking , Commissioner Liza Carver ,

ASIC: CommSec And AUSIEX To Pay Penalty Of Over $27 Million For Systemic ompliance Failures

<p><span>The Federal Court has ordered Commonwealth Securities Limited (CommSec) and Australian Investment Exchange Limited (AUSIEX) pay a penalty of $20 million and $7.12 million respectively for breaches of the Market Integrity Rules, Corporations Act and ASIC Act (CommSec only) for systemic compliance failures, including overcharging brokerage fees to CommSec customers on 120,933 occasions, totalling over $4.3 million.</span></p> ....

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ASIC commences civil penalty proceedings against CommSec and AUSIEX for systemic compliance failures

Date Time
ASIC commences civil penalty proceedings against CommSec and AUSIEX for systemic compliance failures
ASIC has commenced civil penalty proceedings in the Federal Court against Commonwealth Securities Limited (CommSec) and Australian Investment Exchange Limited (AUSIEX) for alleged breaches of the Market Integrity Rules, Corporations Act and ASIC Act (CommSec only) relating to systemic compliance failures in the delivery of financial services.
ASIC alleges the conduct spanned a significant period of time and involved failures across multiple systems and business areas. Commsec and AUSIEX submitted over 60 notifications to ASIC relating to the conduct.
It is ASIC’s view that the number, breadth and duration of the conduct is significant and indicates the entities did not have adequate systems and processes in place to ensure compliance with their relevant obligations under their Australian Financial Services licence (AFS licence) and pursuant to the Market ....

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ASIC Commences Civil Penalty Proceedings Against CommSec And AUSIEX For Systemic Compliance Failures

ASIC Commences Civil Penalty Proceedings Against CommSec And AUSIEX For Systemic Compliance Failures
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